Alliance Advisory & Securities, LLC

RIASEC Registered

Total AUM

$687M

Discretionary

$393M

57% of AUM

Avg account

$250K

Accounts

2,748

Employees

Advisory reps

Firm details

Headquarters: Westlake Village, California
CRD number: 18835
Registered since: September 5, 2006
Website: www.aewealth.com
Custodians: FIDELITY DISTRIBUTORS COMPANY LLC
Fee structure: Percentage of AUM, Hourly Charges, Fixed Fees
Client types: HNWI74.27%
Individuals24.92%
Charitable Organizations0.8%
Services: Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other AdvisersEducational Seminars / Workshops

Firm profile

FINTRX

Overview

Alliance Advisory & Securities, LLC is an independent registered investment adviser organized as an LLC and operating since 2006. The firm serves both individual/family and institutional clients and positions itself as a capital allocator that combines portfolio management with financial planning and advisory services. Its advisory menu includes portfolio management for individuals, small businesses and institutions, selection of other advisers, pension consulting, and educational seminars. The firm also acts as an other financial product salesperson and has industry roles that include sponsoring pooled investment vehicles and serving as sponsor/GP/managing member on sponsored vehicles. Alliance identifies as an active ESG investor. Fee arrangements are flexible and include percentage of AUM, hourly billing, and fixed-fee engagements. The firm reports activity across both discretionary and non-discretionary mandates and provides a mix of advisory and non-advisory services common to dual client bases (individuals/families and institutional clients).